James C Haggard

CRD 5088671 · Fidelity Brokerage Services LLC · Sarasota, FL

IA RegisteredBroker

Also appears in the source record as: James Casey Haggard

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 66SIESeries 7
Registered states (25): Alabama · Arizona · California · Colorado · Connecticut · Florida · Georgia · Illinois · Indiana · Iowa · Kansas · Kentucky · Massachusetts · Michigan · Missouri · Nebraska · New Hampshire · New Jersey · North Carolina · Ohio · Pennsylvania · South Carolina · Texas · Vermont · Virginia
Years in the industry (source record): 18
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (17)

From the source registration record · current first

Strategic Advisers LLCCurrent
Sarasota, FL · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Sarasota, FL · BD capacity

Oct 30, 2019 → present
Fidelity Brokerage Services LLCCurrent
Sarasota, FL · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
IA capacity

Nov 8, 2019 → Mar 31, 2025
Advice And Planning Services
IA capacity

Sep 22, 2014 → Oct 7, 2019
Tiaa-Cref Individual & Institutional Services, LLC
BD capacity

Sep 19, 2014 → Oct 7, 2019
Amerivest Investment Management, LLC
IA capacity

Feb 27, 2013 → Sep 17, 2014
Td Ameritrade, Inc.
IA capacity

Feb 20, 2013 → Sep 17, 2014
Td Ameritrade, Inc.
BD capacity

Feb 7, 2013 → Sep 17, 2014
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Oct 8, 2010 → Jan 2, 2013
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Sep 13, 2010 → Jan 2, 2013
Pnc Investments
BD capacity

Nov 13, 2009 → Aug 19, 2010
Pnc Investments
IA capacity

Nov 13, 2009 → Aug 19, 2010
Natcity Investments, Inc.
BD capacity

Apr 2, 2009 → Nov 13, 2009
Natcity Investments, Inc.
IA capacity

Apr 2, 2009 → Nov 13, 2009
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Dec 10, 2008 → Feb 17, 2009
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Nov 10, 2008 → Feb 17, 2009

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5088671 ↗ FINRA BrokerCheck record for CRD 5088671 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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